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HKFAEx Group Limited 香港金融資產交易集團有限公司

證監會持牌法團
證監會中央編號:AOG669
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香港 IPO 預測香港財務報告法律文件搜尋常見問題
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公開紀律行動
SFC bans Benedict Ku Ka Tat for 1 year, fines him HK$150k
SFC, 21-Nov-2016
We note that last year, the SFC fined The Pride Fund Management Ltd (controlled by Louis Wan Mun Wah) HK$400k for failure to enter mediation at the Financial Dispute Resolution Centre with the client, Ms Ha Sze Wan. Our records show that the BVI company to which she paid the 15% commission (of which Mr Ku received 12%), Lizauli Investments Ltd, was struck off on 31-May-2010. We don't know who owned that, and the SFC calls him or her "X".
機構
人物
SFC fines The Pride Fund Management Ltd HK$400k for failing to enter mediation managed by FDRC
SFC, 02-Jul-2015
The SFAT reduced the fine from HK$700k to $400k.
機構
人物